Job Vacancy For Compliance Supervisor

A reputable financial institution seeks to fill a vacant role of: Compliance Supervisor

Duties / Responsibilities

Includes but not limited to the following:

• Monitoring and issuing periodic reports on the non-compliance of the law and regulations by the broker-dealer and investment adviser and in charge of preparing regulatory reports
• Establishing and maintaining a complaints register in which shall be recorded the complaints received from clients
• Maintaining communication between the commission and the stock exchange regarding industry related practices
• Regularly educating and training employees on changing regulations in relation to the industry's risk and compliance practices

Qualification Required & Experience

• A minimum of a Bachelor's Degree in Finance or other related field from accredited institutions and must possess in approved securities course certificated by the Ghana Stock Exchange
• Must possess risk or audit related educational/professional qualification
• A minimum of 5 years of work experience in a similar role shall be considered